Financial Adviser - Canterbury
Our client is looking to welcome a Financial Adviser into their team in Canterbury, to advise clients as appropriate to their circumstances and objectives.
Specific Responsibilities
Prospecting and contacting potential clients in accordance with the firm’s business plan Making sure sufficient client information is obtained before any recommendation is made Following relevant advice and sales procedures at all times Managing portfolios in accordance with the client’s mandate, objectives and the firm’s investment proposition Undertaking appropriate product and market research Making suitable recommendations at all times Maintaining all supporting documents Contacting clients in accordance with the agreed level of services offered Ensuring clients receive relevant documentation in a timely manner Dealing with client queries efficiently and promptly Ensuring clients are treated fairly, in line with “TCF” principles Identifying clients who are in vulnerable or potentially vulnerable circumstances to provide appropriate advice Holding a current statement of professional standing (SPS) at all times Maintaining and accurately recording relevant CPD Maintaining all standards of performance required by the firm Obtaining and maintaining the level of competence required by the firm Ensuring standards to remain “Fit & Proper” for the role General Responsibilities
Following the firm’s compliance processes and procedures at all times Responding to all Compliance department requests on time Complying with the Financial Services and Markets Act 2000 and the FCA’s Conduct rules Maintaining a positive culture attitude Keeping up to date with relevant regulatory, product, legislative and technical requirements Ensuring all client contact is professional and courteous Maintaining compliant client files on an ongoing basis Retaining client records in line with the firm’s Data security / data protection / record keeping policy Liaising with admin support, Paraplanners, and other team members as appropriate Relevant Experience, Skills and Knowledge
We expect an individual performing this role to have the following experience, skills, and knowledge: A good understanding and knowledge/awareness of relevant legislation affecting our industry/profession The ability to understand the environment we operate in and the issues this raises Good written and oral communication skills General IT skills Ability to compile reports Qualification Requirements
We expect an individual in this role to hold the following qualifications: The minimum level is “level 4” Diploma with the aim of achieving Chartered status If you are interested in this position, please email your CV to
josie@artemisrecruitment.co.uk
#J-18808-Ljbffr
Prospecting and contacting potential clients in accordance with the firm’s business plan Making sure sufficient client information is obtained before any recommendation is made Following relevant advice and sales procedures at all times Managing portfolios in accordance with the client’s mandate, objectives and the firm’s investment proposition Undertaking appropriate product and market research Making suitable recommendations at all times Maintaining all supporting documents Contacting clients in accordance with the agreed level of services offered Ensuring clients receive relevant documentation in a timely manner Dealing with client queries efficiently and promptly Ensuring clients are treated fairly, in line with “TCF” principles Identifying clients who are in vulnerable or potentially vulnerable circumstances to provide appropriate advice Holding a current statement of professional standing (SPS) at all times Maintaining and accurately recording relevant CPD Maintaining all standards of performance required by the firm Obtaining and maintaining the level of competence required by the firm Ensuring standards to remain “Fit & Proper” for the role General Responsibilities
Following the firm’s compliance processes and procedures at all times Responding to all Compliance department requests on time Complying with the Financial Services and Markets Act 2000 and the FCA’s Conduct rules Maintaining a positive culture attitude Keeping up to date with relevant regulatory, product, legislative and technical requirements Ensuring all client contact is professional and courteous Maintaining compliant client files on an ongoing basis Retaining client records in line with the firm’s Data security / data protection / record keeping policy Liaising with admin support, Paraplanners, and other team members as appropriate Relevant Experience, Skills and Knowledge
We expect an individual performing this role to have the following experience, skills, and knowledge: A good understanding and knowledge/awareness of relevant legislation affecting our industry/profession The ability to understand the environment we operate in and the issues this raises Good written and oral communication skills General IT skills Ability to compile reports Qualification Requirements
We expect an individual in this role to hold the following qualifications: The minimum level is “level 4” Diploma with the aim of achieving Chartered status If you are interested in this position, please email your CV to
josie@artemisrecruitment.co.uk
#J-18808-Ljbffr
